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Results of the NSR Task Force (part 1): NSR concept and future
Natalja Skacenko
Safety Unit
28 June 2013 N° 1 Results of the European Commission’s
«Task Force on National Safety Rules»
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I have been told that…
2 28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules»
My SMS shall meet provisions in TSIs, NSR
and other applicable rules
• What are NSR?
• Where to find them?
• Do I really need them?
My task is to enforce NSR and promote their
transparency in compliance with EU law
• What does it mean?
• Is it a priority?
• Something to change?
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Railway Safety Directive 2004/49/EC
Objectives
• At least maintain safety level
• Increase it when reasonable
• Promote competitiveness
• And competition
• Develop interoperability
• And limit barriers
• Create mutual trust
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 3
Any safety measure shall foster the
development of a single European rail
transport system
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Railway Safety Directive 2004/49/EC (II)
Safety regulatory framework
Roles and responsibilities
Harmonised regulatory structure
Approach to safety management
• Safety Management Systems (SMS)
• Independent bodies – IMT and GISAF
• Transparency
• Preventive culture
• Common safety methods and targets – CSMs and CSTs 28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 4
Basis for any European and
national legislation on railway safety
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YES – you need them !
Common approach and rules need time to develop
Status 2004: few TSIs
Transitional solution: NSR
Keep new NSR to a minimum
NSR objective 2004
• Move from self- to public regulation
• Transparency
• Define roles and interfaces
• Level-playing field
28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 5
Need to establish and notify NSR
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Make a success story !
Status 2013:
• Complete CSMs and CSTs
• Almost complete TSIs
Objective 2013
• Consistent application of EU rules
• Safety maturity
• Simplify remaining NSR
• Transparency
Ultimate goal: harmonised rules
28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 6
Need to revise and reduce NSR
Focus changes
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What does it mean?
• Justified NSR are comprehensive, non-discriminatory,
established transparently, made available, understood
• NSR which are not justified or replaced by EU rules are
timely removed from national law & NSA
• A recurrent process → follow EU developments
NSR published = NSR notified = NSR applied
No hidden rules !
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 7
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Need to clarify existing uncertainties
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 8
Common rules (OPE TSIs, CSTs, CSMs, etc.) with some exceptions and
Coordinated interfaces and company (operating) rules
Information
Rule book
Route book
RU SMS IM SMS
Current situation: ??????????????????????????????????
In transitional period: NSR for these exceptions
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YES – priority !
Current uncertainties =
• Big costs
• Unnecessary safety risks
• Complicated transition
Big and difficult work? YES
Can it be simplified? YES
• Understanding
• Systematic work
• Dialogue
• Guidance of the NSR Task Force
28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 9
Start now Be curious Make plan
More clarity = less work
for all!
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Let’s analyse NSR definition
Directive 2004/49/EC Article 3(h)
NSR are
all rules
containing railway safety requirements
imposed at Member State level and
applicable to more than one
Railway Undertaking [RU],
irrespective of the body issuing them
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 10
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Personal scope of NSR
Applicable to more than one RU
• Rules primarily addressed to RUs
• Covering their interfaces with IMs
• Important for:
– Training centers, subcontractors
– Railway users
– Anyone concerned with efficiency of railways
• Not rules for IM, NSA, etc.
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 11
Example YES: Emergency
communication RU-IM
Example NO: IM measures to restore traffic
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NSR status
Imposed at Member State level,
Irrespective of the body issuing them
• Legislation (preferably)
• Or a rule of any competent body
(a tool for immediate transparency)
– If recognised by law
– Made binding upon RUs by law
– Validated by Ministry / NSA
• Not policy
• Not information / registers
• Not voluntary standard
• Not procedure / guidance 28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 12
Examples YES: Decree-Law, Regulation
approved by IMT
Transparency, consultation, availability, compliance
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Geographical scope of NSR
NSR scope = scope of Dir. 2004/49/EC
• Railway system: whole or part
– Certain gauge / lines
– Certain regions
– Certain types of stations
• Other railways if MS includes them
– Metros and trams
– Functionally separated
– Private for own operations
– Historic
• Not local rules
– No news but result of other rules 28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 13
Examples YES: 1. Operation on lines
without ATP 2. Operation in non-supervised stations
Examples NO: 1. Operation in a non-supervised
station X 2. Speed in tunnel Y
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Zoom on IM: REFER
IMs may have the following:
• Rules for interface with RUs, if allowed by law = NSR
– Not binding by law? → Establish legal base
– In any case - validation by IMT
• Coordinated internal & local rules of RUs and IMs
– Support application of NSR, TSIs, etc.
– Mutually agreed (Dir. 2004/49, Art. 4(3))
– Not decided unilaterally
• Internal procedures for own use by IM
• Network-related information
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 14
Associations may
contribute
Same condi-tions
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Any legislation?
Containing railway safety requirements
Not yet replaced by TSIs, etc.
• Requirements specific to that country
• Have to be justified
• Limited to exceptions in EU rules
– Ex: TSI open points and specific cases
• National but not NSR:
– Transposition / implementation
of EU law: Directives, TSI, CSM, etc.
repeats EU law
different notification to EC
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 15
Example YES: Rear end / visibility of domestic freight
trains (open point in OPE TSI)
Example NO: Decree on train
driver certification
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Railway safety scope of NSR
Containing railway safety requirements
• Safety requirements that are railway-specific
• Categories in Annex II of Directive 2004/49/EC
– RU/IM and their staff shall be prepared to operate safely
– Focus on roles and operation
– Design and maintenance are covered by other legislation
– BUT in future they will be all in one set of National Rules
• Include rules for operation and traffic management resulting from other Railway Directives
– Interoperability Directive 2008/57/EC
– Directive 2008/68/EC on transport of dangerous goods and RID 28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 16
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Interoperability Directive Safety Directive
Supervision
Safety and Interoperability
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 17
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Overlaps of different rules
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 18
NSR and National Technical Rules (NTR) Complete overlap of NSR with NTR for subsystem “Operation and Traffic Management” 4th Railway Package: National Rules – same treatment Safety Directive: exceptions from CST and CSM Interoperability Directive: exceptions from TSIs, including OPE rules
Technical regulations for products and Information Society services – Dir. 98/34/EC Complete overlap of NTR for products with technical regulations for products 4th Railway Package: No more use of TRIS; all rules in Notif-IT
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Overlaps of different rules (II)
• Any rules shall meet EU law on railway safety & interoperability
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 19
National provisions for the transport of dangerous goods (TDG) – Dir. 2008/68/EC and its annex RID Potential overlap with NSR and NTR → Rule Management Tool Rules to be checked case by case
National rules under other Directives The overlap with NSR and NTR is not recommended but occures Example: Seveso III does not apply to operations in marshalling yards → Safety Directive shall applly If MS applies Seveso III on marshalling yards → mistake → overlap with NSR
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False brothers of NSR
Applicable but not NSR:
Safety provisions in “horizontal” laws
Not specific to railways
Different use than NSR
NoBo considers all laws
Take into account in your SMS • Environment • Public security • Worker protection, etc.
Ministry / NSA shall ensure there is no contradiction between
different safety legislation and Railway Directives: safety roles and responsibilities, TSIs, CSMs and CSTs
28 June 2013 Results of the European Commission’s «Task Force on National Safety Rules» N° 20
Double checks not
allowed
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Safety finality of NSR
Transparent and kept to a minimum
Strictly limited to the safety objective
Make sure NSR is the best option
• Proportional
• Not presriptive
– Same level of details as TSIs/CSMs
• Open for >1 solution
• Non-discriminatory
– No different treatment of
identical situations
– No competitive advantage to
one or several domestic RUs 28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 21
Example YES: Train drivers shall
get an updated Rule Book (OPE TSI)
Example NO: Rule Book shall be in A3 book format
and shall be validated by IM
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Simple rules: danger or benefit?
Simpler NSR is a benefit!
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 22
Improve and simplify the system Not necessarily change it Focus on essential Support to interoperability Understandable Promote risk prevention Open for viable solutions
Training Easier Supervision Monitoring
Increased safety
Competitiveness
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YES, RUs and IMs can manage it !
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 23
• Not NSR but application ensures safety - SMS
• Clear reason behind a rule → solution
• Adapted to activity profile → fulfilled Application
• Historic knowledge is shared (old NSR)
• RUs/IMs shall maintain competence
• NSA guidelines
• External expertise when needed
Competence
• Clear and realistic planning
• Promote safety maturity Transition
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What NSR can exist today?
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 24
Rule Management Tool v. 1.0
Final Report of the NSR TF, Annex 3
ERA website / Key documents
To be used together with the
general clarifications in the Report
http://www.era.europa.eu/Document-Register/Pages/Report-NSR-TF.aspx
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Rule Management Tool Purpose and status
• Classification of national rules (NSR, NTR, TDG provisions, other)
• Need for rule notification
• Allowed scope for national rules and need for rule revision
• Transparent basis for consistent decisions by MS and EC (with ERA support)
• Useful check-list:
– For MS to decide what to do with existing and planned rules
– For ERA and EC to evaluate rules and analyse complaints
• Current status: Summary of legal obligations, updated every year
• Future status: EC Decision (2015-2016)
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 25
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Rule Management Tool Content
RMT version 1.0 is based on current EU law (status October 2012)
RMT focuses on NSR and their interfaces with other rules:
– Room for NSR
– Overlap between NSR and NTR
– Overlap between NSR/NTR and TDG
– TDG cases included when Dir./RID give room for authority rules
RMT also describes frequent examples of provisions that are not NSR (NTR or other, e.g. transposition measures, information, etc.)
– For better understanding
– Not exaustive list of examples
Some rules are covered by more than one RMT line
Important to understand general explanations in the Final Report 28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 26
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RMT structure
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 27
Number Type Task / responsibility / parameter
Requirements covered by common rules (ref. to TSIs, CST, CSM, etc.)
38
Please indicate in notification
Type-4 rule (NSR)
Identification of trains/ train running numbers Some tasks may be covered by several lines, e.g. transport of dangerous goods
OPE CR TSI 4.2.3.2
Kinds of NSR to be withdrawn
Kinds of existing NSR that may remain Remaining NSR may need revision in line with EU law
Comments
No room for NSR No room = no rule
Specific case for IE and UK: CR OPE TSI 7.3.2.2
Same requirement is in the merged OPE TSI as in CR OPE TSI (Decision 2012/756/EU)
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Remaining NSR in summary
These NSR remain … until covered in the European legislation
• Some operating NSR
– As allowed by OPE TSIs,
– Directive 2008/68/EC and RID (transport of dang. goods)
• Risk acceptance criteria
• Criteria for significant change
Any other notified rules are no longer NSR
They shall be progressively revised, clarified and reduced
Railway Safety Directive will be amended (Annex II deleted)
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 28
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Impact on Portuguese rules: Discussion started with IMT
Type 1 NSR - national safety methods and targets
Type 5 NSR - requirements for internal rules
None exist, OK
Type 2 NSR - RU safety certification and SMS
Not NSR but transposition measures (in force)
Notify criteria for significant change 443/2010
Type 7 NSR - accident and incident investigation
Not NSR but transposition measures (in force)
Check old Decree-Law 39870
28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 29
Transposition: 270/2003 231/2007
*** 395/2007
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Impact on Portuguese rules (II): Discussion started with IMT
Type 4 NSR - operation, signalling & traffic control
1.
Revise and reduce notified rules (SMS + OPE TSI)
Identify, revise and notify non-notified rules
Clarify which rules are NSR and NTR
2.
Identify rules that should not be binding
(instructions, local rules and information)
Implement such rules in SMS
(RU-IM coordinate themselves as necessary)
3.
Align rule index of IMT and REFER 28 June 2013
Results of the European Commission’s
«Task Force on National Safety Rules» N° 30
I.E.T. 2
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Impact on Portuguese rules (III): Discussion started with IMT
Type 6 NSR - staff competences and fitness
Split transposition measures (remain in force)
from NSR (to be reduced in line with EU law)
Define transition measures & plan for reducing NSR
Meanwhile notify non-notified NSR
News in the 4th Package:
On-board staff with passenger safety issues
ERA to develop SMS details on staff attestation and training
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 31
RGS 12 189/2006
(23721/2006) I.E.T. 77
Regulamento 5
1551/2012 322/2000
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How to align national rules with European? Legal obligation and priority
Notes:
1. Consistent
recurrent process
as it should be
2. Sector assumes
its safety
responsibilities
3. Same for NTR
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 32
2. MS screens and revises its NSR. MS may only keep NSR for these exceptions 3. National
consultation on NSR that should be changed or
reduced
4. MS updates its notifications of
NSR (Safety Directive Art. 8(4))
5. Sector may report non-notified binding rules and rules incompliant
with EU law
6. EC, assisted by ERA, evaluates the
need for infringement
procedure
7. MS corrects NSR and notifies it (Safety Directive
Art. 8(4))
1. Amended OPE TSI, CSM or other EU
legal act is adopted with some
exceptions, e.g. open points and specific
cases in TSIs
Notif-IT
Action by EC and ERA
Action by Member
State
Action by the Sector
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What if a problem requires additional rule? Possibility
Notes:
1. Only if strictly
necessary and justified
2. Same for NTR
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 33
1. MS wants to keep more requirements than allowed by EU
law or wants to solve a new problem by
rules
2. MS informs EC and ERA about potentially
missing Basic Parameter in OPE TSI , CSM or other EU law.
Priotiry to EU solution No new NSR yet
3. EC and ERA analyse MS request (procedure on
definiencies, e.g. Interop. Directive Art. 7)
4. If the missing Basic Parameter is confirmed,
MS can keep existing NSR or draft a new NSR
for that parameter. 5. National consultation of draft NSR
6. MS notifies draft NSR to EC (Safety
Directive Art. 8(7))
8. EC, assisted by ERA, checks draft
NSR (Safety Directive Art. 8(7))
9. When allowed, MS adopts and notifies NSR (RSD Art. 8(4)). NSR may remain in
force until replaced by EU rule.
7. Sector may comment on draft
Notif-IT
Action by EC and ERA
Action by Member
State
Action by the Sector
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So many rules ! Where to find ?
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 34
IMT website (main source now)
www.imtt.pt • National & EU
legislation • National rules
Split NSR and other
REFER website www.refer.pt IM information and
references to laws and rules Be consistent
ERA website www.era.europa.eu All EU legislation &
registers on safety and interoperability
NOTIF-IT (main source in future)
https://webgate.ec.europa.eu/risdb
All MS: (Draft) NSR (to be updated),
NTR for subsystems and vehicles
TRIS (obsolete in future)
http://ec.europa.eu/enterprise/tris
All MS: (Draft) NTR for products
http://www.imtt.pt/http://www.refer.pt/http://www.era.europa.eu/https://webgate.ec.europa.eu/risdbhttps://webgate.ec.europa.eu/risdbhttp://ec.europa.eu/enterprise/tris
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Summary
28 June 2013 Results of the European Commission’s
«Task Force on National Safety Rules» N° 35
National Requirement BUT
• Railway specifics in that Member State • Legally binding for RUs • Applicable on the whole network or its part
European Approach AND
• Promoting objectives in EU Directives • Based on roles and responsibilities in the Railway Safety Directive • Temporal rules within the scope allowed in EU law • Compatible and not conflicting with EU legislation • Justified and proportional to their safety objective • Non-discriminatory
Transparency
• Prepared, published and enforced transparently • Understandable • Notified in draft to the Commission before adoption
National Safety Rule should be:
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Thank you very much for your attention!
Do you have questions?
Contact:
mailto:[email protected]